June 10, 2013

Securities Compliance and Business Consulting

Londonderry, New Hampshire:  Regulatory Maven, a compliance and business consulting firm serving FINRA-registered broker-dealer firms as well as SEC and state-registered investment advisor (RIA) firms is launching their Compliance Consulting services. Each client is presented with a custom Compliance Program fit to their risk profile, current resources and business aspirations.

“Our approach to working with CCOs, CEOs and firm Principals is unique.  We take a holistic view of the firm’s business and build the compliance program to support the firm’s long-term vision”, says Dennis McCarron, CEO and co-founder.  Regulatory Maven provides clients access to compliance consulting, regulatory exams and testing along with business consulting.

Regulatory Maven brings the knowledge and experience of financial industry professionals to structure and protect our clients’ businesses in this demanding regulatory environment while best reflecting their vision.

About Regulatory Maven

Regulatory Maven was founded in May 2013.  The company is located in Londonderry, New Hampshire and provides a complete suite of securities compliance services to Broker-Dealer and Registered Investment Advisor firms. Regulatory Maven delivers distinctive expertise and exemplary results.  For additional information about Regulatory Maven please visit www.regmaven.com or call us at 603.965.7791.

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